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`UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`TRADESTATION GROUP, INC.,
`TRADESTATION SECURITIES, INC., IBG LLC, and
`INTERACTIVE BROKERS LLC,
`
`Petitioners
`
`v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.,
`
`Patent Owner
`_________________
`
`Case CBM2015-001611
`U.S. Patent 6,766,304 B2
`
`_________________
`
`DECLARATION OF JENNIFER M. KURCZ
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`
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`1 Case CBM2016-00035 has been joined with this proceeding.
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`Page 1 of 367
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`TRADING TECH EXHIBIT 2337
`TRADESTATION ET AL. v. TRADING TECH
`CBM2015-00161
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`
`
`Case CBM2015-00161
`U.S. Patent 6,766,304 B2
`
`I, Jennifer M. Kurcz, make the following Declaration pursuant to 28 U.S.C.
`
`
`
`
`§ 1746:
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`1.
`
`I am an attorney at the law firm of McDonnell Boehnen Hulbert &
`
`Berghoff LLP. I represent Patent Owner Trading Technologies International, Inc.
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`(“TT”).
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`2.
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`I provide this Declaration in connection with the following CBM
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`proceedings: CBM2015-00161, -00181, and -00182. Unless otherwise stated, the
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`facts stated in this Declaration are based on my personal knowledge.
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`3.
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`As part of a litigation between TT and eSpeed, Inc. et al. (“eSpeed”)
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`in the Northern District of Illinois (Case No. 04-cv-5312) (“the eSpeed case”), TT
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`served document requests on eSpeed, which are attached to this Declaration as
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`Appendices 1-9. In response to these requests, eSpeed served on TT in that
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`litigation what are now marked as Exhibits 2240, 2241, 2242, 2243, 2244, 2245,
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`2246, 2250, 2252, 2254, 2256, 2258, 2260, 2262, 2270, 2271, and 2272 in one or
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`more of these CBM proceedings. Exhibits 2240, 2241, 2242, 2243, 2244, 2245,
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`2246, 2250, 2252, 2254, 2258, 2260, 2262, 2270, 2271, and 2272 were admitted as
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`trial exhibits in the litigation without their authenticity being challenged. Exhibit
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`2256 was shown to the jury, but not admitted into evidence.
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`Page 2 of 367
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`4.
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`As further part of the eSpeed case, what are now marked as Exhibits
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`Case CBM2015-00161
`U.S. Patent 6,766,304 B2
`
`
`
`2248 and 2249 in one or more of these CBM proceedings were admitted as trial
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`exhibits in the eSpeed litigation without their authenticity being challenged.
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`5.
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`As further part of the eSpeed case, what are now marked as Exhibits
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`2279, 2280, 2281, and 2282 in one or more of these CBM proceedings were shown
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`to the jury during trial, but not admitted into evidence.
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`6.
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`As further part of the eSpeed case, TT and eSpeed served respective
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`subpoenas and accompanying document requests on Patsystems, which are
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`attached to this Declaration as Appendices 10-11. In response to these requests,
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`Patsystems served on TT and eSpeed in that litigation what are now marked as
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`Exhibits 2284 and 2285 in one or more of these CBM proceedings. Exhibit 2284
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`was admitted as a trial exhibit in the litigation without its authenticity being
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`challenged.
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`7.
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`As further part of the eSpeed case, eSpeed served a subpoena and
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`accompanying document requests on Tokyo Stock Exchange (“TSE”), which is
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`attached to this Declaration as Appendix 12. In response, TSE served on eSpeed
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`and TT in that litigation what are now marked as Exhibits 2159 and 2175 in one or
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`more of these CBM proceedings.
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`8.
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`As part of a litigation between TT and CQG, Inc et al. (“CQG”) in the
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`Northern District of Illinois (Case No. 05-cv-4811), TT served document requests
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`Page 3 of 367
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`on CQG, which are attached to this Declaration as Appendices 13-16. In response
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`Case CBM2015-00161
`U.S. Patent 6,766,304 B2
`
`to these requests, CQG served on TT in that litigation what is now marked as
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`Exhibit 2277 in one or more of these CBM proceedings. Exhibit 2277 was
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`admitted as a trial exhibit in the litigation without its authenticity being challenged.
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`9.
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`As part of a litigation between TT and Interactive Brokers LLC et al.
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`(“IB”) in the Northern District of Illinois (Case No. 10-cv-721) , TT served
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`document requests on IB, which are attached to this Declaration as Appendix 17.
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`In response to these requests, IB served on TT in that litigation what is now
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`marked as Exhibit 2206 in one or more of these CBM proceedings.
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`10. As part of a litigation between TT and TradeStation Securities, Inc. et
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`al. (“TradeStation”) in the Northern District of Illinois (Case No. 10-cv-884), TT
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`served document requests on TradeStation, which are attached to this Declaration
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`as Appendices 18-19. In response to these requests, TradeStation served on TT in
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`that litigation what is now marked as Exhibit 2207 in one or more of these CBM
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`proceedings.
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`11. Exhibit 2283 is a compilation of true and correct copies of consent
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`judgements involving TT.
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`12.
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`I declare under penalty of perjury under the laws of the United States
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`of America that all statements made herein of my knowledge are true, and that all
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`statements made on information and belief are believed to be true, and that these
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`Page 4 of 367
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`statements were made with the knowledge that willful false statements and the like
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`Case CBM2015-00161
`U.S. Patent 6,766,304 B2
`
`so made are punishable by fine or imprisonment, or both, under Section 1001 of
`
`Title 18 of the United States Code.
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`Date: July 19, 2016
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`
`
`
`
`/Jennifer M. Kurcz/
`By:
`
` Jennifer M. Kurcz
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`____
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`Page 5 of 367
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`APPENDIX 1
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`APPENDIX 1APPENDIX 1
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`Page 6 of 367
`Page 6 of 367
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`Page 6 of 367
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`
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`UNITED STATES DISTRICT COURT
`NORTHERN DISTRICT OF ILLINOIS
`EASTERN DIVISION
`
`
`Civil Action No. 04 C 5312
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`Judge: James B. Moran
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`Magistrate: Sidney I. Schenkier
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`) ) ) ) )
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`) )
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`) ) )
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`)
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`Trading Technologies International, Inc.,
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`Plaintiff,
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`V.
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`eSpeed, Inc.,
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`Defendant.
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`TRADING TECHNOLOGIES’ FIRST SET OF REQUESTS FOR THE
`PRODUCTION OF DOCUMENTS AND THINGS TO DEFENDANT §l_V_OS. 1-39!
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`Plaintiff Trading Technologies International, Inc. (“Trading Technologies”) provides the
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`following requests to Defendant eSpeed, Inc. (“eSpeed”), seeking production of the documents and
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`things specified below for inspection and copying pursuant to Federal Rules of Civil Procedure 26
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`and 34 and the Local Rules of the U.S. District Court for the Northern District of Illinois. The
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`documents shall be produced for inspection and copying within ten (10) days of service hereof at
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`the offices of Trading Technologies’ counsel, McDonnell Boehnen Hulbert & Berghoff LLP, 300
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`South Wacker Drive, Chicago, Illinois, 60606.
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`Page 7 of 367
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`Page 7 of 367
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`
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`DEFINITIONS AND INSTRUCTIONS
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`In the following requests for production of documents and things:
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`1.
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`The terms "Plaintiff" and “Trading Technologies" shall mean the Plaintiff in this
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`lawsuit, Trading Technologies International, Inc.; any company name under which Trading
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`Technologies is doing business; and its predecessors, parents, subsidiaries, divisions, directors,
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`officers, employees, agents, distributors, salespersons, sales representatives, and attorneys, and each
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`person acting or purporting to act on its or their behalf or under its or their control.
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`2.
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`The terms "Defendant” and “eSpeed” shall mean eSpeed, Inc.; any company name
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`under which eSpeed is doing business; and its predecessors, parents, subsidiaries, divisions,
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`licensees, franchisees, assigns or other related business entities, as well as directors, officers,
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`employees, agents, distributors, jobbers, salespersons, sales representatives, and each person acting
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`or purporting to act on its or their behalf or under its or their control.
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`3.
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`The terms "person" and "persons" shall mean natural persons (including, without
`
`limitation, those employed by eSpeed), as well as all governmental entities, agencies, officers,
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`departments, or affiliates of any other governmental entity, and any corporation, foundation,
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`partnership, proprietorship, association, or other organization.
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`4.
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`The term "date" shall mean the exact day, month, and year (to the degree
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`ascertainable) or, if not ascertainable,
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`the best approximation (including relationship to other
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`events).
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`Page 8 of 367
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`Page 8 of 367
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`5.
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`The term "document" shall mean writings, recordings and other communications,
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`whether reduced to tangible or electronic form, including the originals and all non-identical copies,
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`whether different from the original by reason of any notation made on such copies or otherwise
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`(including without limitation, correspondence, memoranda, notes, executable and non-executable
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`electronic files,
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`including e-mail, software, screen shots, diaries, minutes, statistics,
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`letters,
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`telegrams, contracts,
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`reports,
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`studies, checks,
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`statements,
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`tags,
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`labels,
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`invoices, brochures,
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`periodicals,
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`receipts,
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`returns, summaries, pamphlets, books, prospectuses, calendars, diaries,
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`plarmers, interoffice and intra-office communications, offers, notations of any sort of conversations,
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`working papers, applications, permits, surveys, indices, telephone calls, meetings, presentations, or
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`printouts, teletypes, fax, invoices, work sheets, and all drafts, alterations, modifications, changes and
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`amendments of the foregoing), graphic or oral representations of any kind (including without
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`limitation, photographs, charts, microfiche, microfilm, videotape, recordings, motion pictures, plans,
`
`drawings, surveys), and electronic or electro-mechanical records or representations of any kind
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`(including without limitation, computer memory, hard drives, discs, tapes, cassettes and recordings).
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`6.
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`The terms "relating to" and "referring to" shall be interpreted broadly so as to
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`encompass the liberal scope of discovery set forth in Federal Rule of Civil Procedure 26(b).
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`7.
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`The terms "identify" and "describe" shall mean providing, among other things:
`
`(a)
`
`with respect to a natural person, home and work addresses and telephone
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`numbers, the name of the person’s present (or if unknown, the last known) place of employment,
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`date of commencement and termination (if any) of employment, job title, and description of his or
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`her duties and responsibilities;
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`Page 9 of 367
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`Page 9 of 367
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`(b)
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`with respect to a corporation or other non-natural person, the full name,
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`address, main telephone number, state of incorporation, and identity of all persons who have acted
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`on behalf of such entity with respect to the subject matter of the request;
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`(c)
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`with respect to a document, the type of document (e.g., letter, e-mail, fax,
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`contract, calendar, invoice, report); the number of pages or size of electronic file; a description of
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`the document's contents; an identification of the person(s) who prepared the document, for whom
`
`the document was prepared, who signed the document, to whom the document was delivered,
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`mailed, or otherwise received, and to whom a copy of the document was sent or otherwise received;
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`the date of writing, creation, or publication; identifying number(s), letter(s), or combination thereof,
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`if any;
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`the significance or meaning of such number(s),
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`letter(s) or combination thereof; for
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`electronic documents, the name of the software used to generate the document and the electronic
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`file type; and the present location and identity of the custodian of that document. Documents to be
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`identified shall include all documents in your possession, custody or control, documents you know
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`or believe to have existed but are no longer existing, and other documents of which you have
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`knowledge or information.
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`8.
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`The tenns "and," "or," and "and/or" shall be construed disjunctively or conjunctively
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`as necessary to bring within the scope of the request all responses which otherwise might be
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`construed to be outside its scope.
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`9.
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`The terms "describe" and "state" shall mean to set forth fully and unambiguously
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`every fact relevant to the subj ect of the request, of which eSpeed (as defined herein) has knowledge
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`or information.
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`Page 10 of 367
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`Page 10 of 367
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`10.
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`Any word written in the singular herein shall be construed as plural or vice versa to
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`bring within the scope of the request all responses which otherwise might be construed to be outside
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`its scope.
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`11.
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`The term "the ’304 patent" shall mean U.S. Patent No. 6,766,304. The term "the
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`’132 patent" shall mean U.S. Patent No. 6,772,132. The term "patents-in-suit" shall mean the ’304
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`patent and the ’132 patent either collectively or individually.
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`12.
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`"Prior Art" includes, by way of example and without limitation, any subject matter
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`that eSpeed contends is encompassed by 35 U.S.C. § 102 and/or 35 U.S.C. § 103.
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`13.
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`“Electronic Trading Tool” shall mean any software, hardware or combination
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`thereof, for connecting to or interacting with any public or private trading system that provides for
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`electronic trading, including but not limited to the Chicago Board of Trade (“CBOT”), the Chicago
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`Mercantile Exchange (“CME”), the London International Financial Futures and Options Exchange
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`(“LIFFE”), Eurex, the IntercontinentalExchange (“ICE”), ICAP BrokerTec, the eSpeed Exchange,
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`the Cantor Exchange, or the eSpeed System.
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`14.
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`No request or subpart hereof shall be construed as a limitation on any other request
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`or subpart hereof.
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`Page 11 of 367
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`Page 11 of 367
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`15.
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`In producing documents and things responsive to these requests, eSpeed shall
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`furnish all documents and things within its possession, custody, or control, regardless of whether
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`these documents are possessed directly by eSpeed, or by its present or past agents, employees,
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`affiliates, related companies, subsidiaries, representatives, investigators, attorneys, or others.
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`16.
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`If eSpeed asserts the attomey-client privilege or work product doctrine as a basis for
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`not producing any document or thing, or if any document or thing is not produced in full, produce
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`the document or thing to the extent the request for production is not objected to, and, in so doing:
`
`(a)
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`state the specific ground(s) for not producing the document or thing in full;
`
`(b)
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`state the bases for such a claim of privilege or immunity; and
`
`(c)
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`fully identify the information, document, or material for which such privilege or
`
`immunity is asserted, including the name and type of any document, the name,
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`address and title of its author, each addressee, and each person to whom a copy of
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`the document or thing has been sent, delivered, or provided.
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`17.
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`If eSpeed maintains that any document or thing requested by Trading Technologies
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`has been destroyed, lost, or is otherwise unavailable, set forth the contents of the document or thing,
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`the date of its destruction or loss, and the name of the person who authorized its destruction (if any).
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`18.
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`Where eSpeed asserts an objection to a request, state all grounds upon which the
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`objection is based.
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`19.
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`For each document or thing produced in response to these requests, identify the
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`request(s) to which the document or thing relates.
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`Page 12 of 367
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`Page 12 of 367
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`
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`DOCUMENT REQUESTS
`
`REQUEST NO.1
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`All
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`documents
`
`requested
`
`for
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`identification
`
`by TRADING TECHNOLOGIES
`
`INTERNATIONAL, INC.’S FIRST SET OF INTERROGATORIES TO DEFENDANT, served
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`concurrently herewith.
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`REQUEST NO. 2
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`All documents relied upon,
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`referred to, or consulted in responding to TRADING
`
`TECHNOLOGIES INTERNATIONAL,
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`INC.’S FIRST SET OF INTERROGATORIES TO
`
`DEFENDANT, served concurrently herewith.
`
`REQ QUEST NO. 3
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`Documents sufficient to identify each different Electronic Trading Tool for the trading of
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`fl.ltU.I‘6S contracts developed, made, sold, distributed, marketed, licensed and/or used by, or with the
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`assistance or at the direction of, eSpeed, including any versions that have not yet been commercially
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`released, and further including one (1) sample of each such Electronic Trading Tool.
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`REQUEST NO. 4
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`Documents sufficient to identify each different Electronic Trading Tool for the trading of
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`spreads developed, made, sold, distributed, marketed, licensed and/or used by, or with the assistance
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`or at the direction of, eSpeed, including any versions that have not yet been commercially released
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`Page 13 of 367
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`Page 13 of 367
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`
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`and any version referred to internally or outside of eSpeed as an “autospreader” a “basis spreader”
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`or any similar name, and further including one (1) sample of each such Electronic Trading Tool.
`
`REQUEST NO. 5
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`Documents sufficient to identify each different Electronic Trading Tool developed, made,
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`sold, distributed, marketed, licensed and/or used by, or with the assistance or at the direction of,
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`eSpeed, where such Electronic Trading Tool is capable of presenting market information on a
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`display in relation to a static price axis, including any versions that have not yet been commercially
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`released, and further including one (1) sample of each such Electronic Trading Tool.
`
`REQUEST NO. 6
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`All documents and things showing the operation, features, and/or display formats of
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`eSpeed’s Electronic Trading Tools, including, but not limited to, demonstrations or presentations,
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`instruction manuals, user’s guides, tutorials, animations, drawings, schematics, flow charts and
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`tables.
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`REg QUEST NO. 7
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`All product
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`literature associated with eSpeed’s Electronic Trading Tools,
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`including
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`demonstrations or presentations, product or
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`instruction manuals, user’s guides or manuals,
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`installation guides, technical manuals and other such materials.
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`Page 14 of 367
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`Page 14 of 367
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`REQUEST NO. 8
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`All documents and things identifying the names and titles of all persons having
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`responsibility for the research, design, development, marketing or sales of eSpeed’s Electronic
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`Trading Tools.
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`RE! QUEST NO. 9
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`All documents and things referring or relating to Mr. Steve Brucato, Catus Technology, or
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`any other company related to Mr. Brucato.
`
`REQUEST NO. 10
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`All documents and things referring or relating to eSpeed’s decisions to develop, launch,
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`distribute, market, sell, delay, or pull from the market any Electronic Trading Tool i) having a static
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`price axis; ii) for the trading of spreads; or iii) for the trading of futures contracts.
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`REQUEST NO. 11
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`All documents and things referring or relating to the design and development of eSpeed’s
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`Electronic Trading Tools, including but not limited to any tools for trading futures contracts or
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`spreads, or any tool capable of presenting market information on a display in relation to a static
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`price axis.
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`Page 15 of 367
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`Page 15 of 367
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`REQUEST NO. 12
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`All documents and things constituting or relating to any agreement between eSpeed and any
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`other person or entity for the design, development, or production of any Electronic Trading Tool for
`
`trading futures contracts or spreads, or any tool capable of presenting market information on a
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`display in relation to a static price axis, including any component or subpart of any such Electronic
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`Trading Tool.
`
`RE UEST NO. 13
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`All documents and things constituting, referring to, or relating to advertising plans, business
`
`plans, marketing plans, promotional programs or strategies on the part of eSpeed or on its behalf,
`
`concerning eSpeed’s Electronic Trading Tools, including but not limited to documents and things
`
`relating to the training or instruction of eSpeed personnel in regard to the marketing or sales of
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`Electronic Trading Tools for trading futures contracts, spreads, or any tool capable of presenting
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`market information on a display in relation to a static price axis.
`
`RE UEST NO. 14
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`All advertising and promotional materials for eSpeed’s Electronic Trading Tools, including
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`any document or thing given to or developed for any customer or prospective customer describing
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`eSpeed’s Electronic Trading Tools.
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`-10-
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`Page 16 of 367
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`Page 16 of 367
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`
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`RES QUEST NO. 15
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`All documents and things referring or relating to the patents in suit, any related patents, or
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`any of Trading Technologies’ patent applications.
`
`REQUEST N0. 16
`
`All documents and things referring or relating to the validity, invalidity, enforceability,
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`unenforceability, infringement or non-infringement of the patents-in-suit, including any opinions
`
`prepared by or on eSpeed’s behalf and/or received by or on eSpeed’s behalf.
`
`RESQUEST NO. 17
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`All documents and things resulting from, or referring to, or relating to any literature and/or
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`patent searches conducted by or at the request of eSpeed with respect to Electronic Trading Tools.
`
`REQ QUEST NO. 18
`
`All patents, printed publications, other items of prior art, or other documents or things, that
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`eSpeed believes may have any bearing on the validity of the patents-in-suit.
`
`RE§ QUEST NO. 19
`
`All documents and things referring to or relating to the state of the art relevant to the subject
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`matter claimed in the patents-in-suit as of the time of filing of the applications that issued as the
`
`patents-in-suit.
`
`-11-
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`Page 17 of 367
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`Page 17 of 367
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`
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`REQUEST NO. 20
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`All documents and things referring or relating to any inspection, review, testing, analysis, or
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`reverse engineering of any Electronic Trading Tool, including Trading Technologies’ MD Trader.
`
`REQUEST NO. 21
`
`All documents and things constituting, relating to, or referring to eSpeed’s pricing of
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`Electronic Trading Tools, including unit pricing structure, pricing policies, any changes in eSpeed’s
`
`pricing, and/or any discounts or other incentives offered or given on Electronic Trading Tools.
`
`REQUEST NO. 22
`
`All documents and things describing, analyzing, evidencing, relating to, or referring to
`
`features or capabilities, or information on the marketing or sale, of products competitive with
`
`eSpeed’s Electronic Trading Tools, or comparing features offered by any eSpeed Electronic
`
`Trading Tool to Electronic Trading Tools offered by others, including but not limited to Trading
`
`Technologies.
`
`REQUEST NO. 23
`
`All documents and things from which eSpeed’s unit sales and/or distribution of each
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`Electronic Trading Tool may be determined for each monthly and annual time period from 2000
`
`to present.
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`-12-
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`Page 18 of 367
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`Page 18 of 367
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`
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`REQUEST NO. 24
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`All documents and things from which eSpeed’s gross and/or net dollar sales of each
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`Electronic Trading Tool may be determined for each monthly and annual time period from 2000
`
`to present.
`
`REQUEST NO. 25
`
`All documents and things constituting, relating to, or referring to sales summaries, sales
`
`invoices, incentive plans or discount summaries relating to eSpeed’s Electronic Trading Tools.
`
`REQUEST NO. 26
`
`All documents and things referring or relating to any proposal, agreement, contract, license
`
`or other business relationship between eSpeed and the Chicago Board of Trade relating to
`
`Electronic Trading Tools for trading futures contracts or spreads, or any tool capable of presenting
`
`market information on a display in relation to a static price axis.
`
`RE§ QUEST NO. 27
`
`All documents and things describing, referring to, or relating to eSpeed’s market share of
`
`the total market for Electronic Trading Tools in the United States since the year 2000, or any
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`subpart thereof.
`
`-13-
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`Page 19 of 367
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`Page 19 of 367
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`
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`RE UEST NO.28
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`All documents and things referring or relating to market share studies or reports for
`
`Electronic Trading Tools, including those prepared by or on behalf of eSpeed.
`
`RE UEST NO. 29
`
`All quarterly reports, annual reports and other shareholder reports for eSpeed from 2000 to
`
`present.
`
`REQUEST NO. 30
`
`All documents comprising any and all
`
`financial statements (audited and unaudited),
`
`financial projections or forecasts, and profit and loss statements prepared by eSpeed or on eSpeed’s
`
`behalf, including but not limited to income statements, balance sheets, and statements of cash flow
`
`for each monthly, quarterly, annual, or other period.
`
`REQUEST NO. 31
`
`All documents and things referring or relating to eSpeed’s information archival and/or
`
`retrieval system containing any information related to design, development, promotion, distribution,
`
`or sale of Electronic Trading Tools.
`
`-14-
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`Page 20 of 367
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`Page 20 of 367
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`
`
`REg QUEST NO. 32
`
`Documents sufficient to identify all files or repositories in which any document responsive
`
`to the foregoing requests is maintained in the normal course of business and each index, key, code
`
`or other means of accessing and locating documents within such files or repositories.
`
`REQUEST NO. 33
`
`All documents and things referring or relating to eSpeed’s policies, practices and/or
`
`procedures now or previously in effect with respect to the retention or destruction of documents.
`
`REQ QUEST NO. 34
`
`All documents and things not otherwise described by the foregoing requests that refer or
`
`relate to the subject matter shown, described, or claimed in the patents—in-suit.
`
`REQUEST NO. 35
`
`All documents and things not otherwise described by the foregoing requests that refer or
`
`relate to eSpeed’s Electronic Trading Tools.
`
`REQUEST NO. 36
`
`All documents and things listing or otherwise identifying customers or potential customers
`
`to whom eSpeed has demonstrated an Electronic Trading Tool for trading futures contracts or
`
`spreads, or any tool capable of presenting market information on a display in relation to a static
`
`price axis.
`
`Page 21 of 367
`
`-15-
`
`Page 21 of 367
`
`
`
`REQUEST NO. 37
`
`All documents and things from the files of or accessible to Scott Arnold, James Steadman,
`
`Lon Steger or Stephanie Schutz referring or relating to i) meetings with customers or potential
`
`customers,
`
`including but not
`
`limited to any demonstrations or presentations,
`
`regarding any
`
`Electronic Trading Tool;
`
`ii) marketing, sales, promotion, demonstration or presentation of any
`
`Electronic Trading Tool for trading futures contracts or spreads, or any tool capable of presenting
`
`market information on a display in relation to a static price axis; or iii) feedback or comments from
`
`customers or potential customers regarding any feature or capability of any Electronic Trading Tool.
`
`RE§ QUEST NO. 38
`
`All documents that refer or relate to Trading Technologies, Trading Technologies’ products
`
`or product features, or any other Electronic Trading Tool that is capable of presenting information in
`
`relation to a static price axis, including comments or feedback thereon from customers or potential
`
`customers.
`
`REQUEST NO. 39
`
`All documents upon which eSpeed intends to rely for the Preliminary lnj unction Hearing.
`
`-16-
`
`Page 22 of 367
`
`Page 22 of 367
`
`
`
`Respectfully submitted,
`
`
`
`
`Leif R. Sigmond, Jr. (ID No. 6204980)
`Matthew J. Sampson (ID No. 6207606)
`George I. Lee (I.D. No. 6224430)
`Brian R. Harris (ID No. 6276539)
`Jennifer M. Swartz (ID No. 6279893)
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`
`Chicago, Illinois 60606
`Te1.: (312) 913-0001
`Fax: (312) 913-0002
`
`Steven F. Borsand (ID No. 6206597)
`Trading Technologies International, Inc.
`222 South Riverside
`
`Suite 1100
`
`Chicago, IL 60606
`Tel: (312) 476-1000
`Fax: (312) 476-1 182
`
`Attorneys for Plaintiff,
`TRADING TECHNOLOGIES
`
`INTERNATIONAL, INC.
`
`Page 23 of 367
`
`Page 23 of 367
`
`
`
`CERTIFICATE OF SERVICE
`
`I certify that TRADING TECHNOLOGIES’ FIRST SET OF REQUESTS FOR THE
`
`PRODUCTION OF DOCUMENTS AND THINGS TO DEFENDANT (NOS. 1-39) were served
`
`via facsimile and overnight delivery on September 10, 2004, to:
`
`Raymond C. Perkins
`Winston & Strawn LLP
`35 W. Wacker Drive
`
`Chicago, IL 60601
`
`
`
`-18-
`
`Page 24 of 367
`
`Page 24 of 367
`
`
`
`09/10/2004 16:12 FAX 312 913 0002
`
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`
`ei§ Mcllunnall Boehnan Hulhert & Berghoff LLP
`
`[
`
`Fax transmittal
`
`To
`
`Raymond Perkins
`
`Company
`
`Winston & Strawn LLP
`
`(312)558-5700
`
`(312)558-5500
`
`George Lombardi
`rew Johnstone
`~
`
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`
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`
`September 10. 2004
`
`Jennifer M. Swartz
`
`(312)913-3311
`
`5Wal'tZ@lTlbhb.C0lTI
`
`radlng Technologies International, lnc. v. Espeed, Inc.
`
`Please distribute to Raymond Perkins, George Lombardi, and Andrew Johnstone.
`
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`
`Page 25 of 367
`
`
`
`
`
`APPENDIX 2
`
`
`
`
`APPENDIX 2APPENDIX 2
`
`
`
`Page 26 of 367
`Page 26 of 367
`
`Page 26 of 367
`
`
`
`UNITED STATES DISTRICT COURT
`
`NORTHERN DISTRICT OF ILLINOIS
`EASTERN DIVISION
`
`
`Trading Technologies International, Inc.,
`
`%\&\J€\J%\./%%%%
`
`v.
`
`eSpeed, Inc.,
`
`Plaintiff,
`
`Defendant.
`
`Civil Action No. 04 C 5312
`
`Judge: James B. Moran
`
`Magistrate: Sidney I. Schenkier
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.’S
`SECOND SET OF REQUESTS FOR THE PRODUCTION OF
`DOCUMENTS AND THINGS TO ESPEED (NOS. 40-4:2}
`
`Plaintiff Trading Technologies International, Inc. (“Trading Technologies”) provides the
`
`following requests to Defendant eSpeed, Inc. (“eSpeed”), seeking production of the documents and
`
`things specified below for inspection and copying pursuant to Federal Rules of Civil Procedure 26
`
`and 34 and the Local Rules of the U.S. District Court for the Northern District of Illinois. The
`
`documents shall be produced for inspection and copying within ten (10) days of service hereof at
`
`the offices of Trading Technologies’ counsel, McDonnell Boehnen Hulbert & Berghoff LLP, 300
`
`South Wacker Drive, Chicago, Illinois, 60606.
`
`Page 27 of 367
`
`Page 27 of 367
`
`
`
`DEFINITIONS AND INSTRUCTIONS
`
`In the following requests for production of documents and things:
`
`1.
`
`The terms "Plaintiff" and “Trading Technologies" shall mean the Plaintiff in this
`
`lawsuit, Trading Technologies International, Inc.; any company name under which Trading
`
`Technologies is doing business; and its predecessors, parents, subsidiaries, divisions, directors,
`
`officers, employees, agents, distributors, salespersons, sales representatives, and attorneys, and each
`
`person acting or purporting to act on its or their behalf or under its or their control.
`
`2.
`
`The terms "Defendant” and “eSpeed” shall mean eSpeed, Inc.; any company name
`
`under which eSpeed is doing business; and its predecessors, parents, subsidiaries, divisions,
`
`licensees, franchisees, assigns or other related business entities, as well as directors, officers,
`
`employees, agents, distributors, jobbers, salespersons, sales representatives, and each person acting
`
`or purporting to act on its or their behalf or under its or their control.
`
`3.
`
`The terms "person" and "persons" shall mean natural persons (including, without
`
`limitation, those employed by eSpeed), as well as all governmental entities, agencies, officers,
`
`departments, or afflliates of any other governmental entity, and any corporation, foundation,
`
`partnership, proprietorship, association, or other organization.
`
`4.
`
`The term "date" shall mean the exact day, month, and year (to the degree
`
`ascertainable) or, if not ascertainable,
`
`the best approximation (including relationship to other
`
`events).
`
`Page 28 of 367
`
`Page 28 of 367
`
`
`
`5.
`
`The term "document" shall mean writings, recordings and other communications,
`
`whether reduced to tangible or electronic form, including the originals and all non-identical copies,
`
`whether different from the original by reason of any notation made on such copies or otherwise
`
`(including without limitation, correspondence, memoranda, notes, executable and non-executable
`
`electronic files,
`
`including e-mail, software, screen shots, diaries, minutes, statistics,
`
`letters,
`
`telegrams, contracts,
`
`reports,
`
`studies, checks,
`
`statements,
`
`tags,
`
`labels,
`
`invoices, brochures,
`
`periodicals,
`
`receipts,
`
`returns, summaries, pamphlets, books, prospectuses, calendars, diaries,
`
`planners, interoffice and intra-office communications, offers, notations of any sort of conversations,
`
`working papers, applications, permits, surveys, indices, telephone calls, meetings, presentations, or
`
`printouts, teletypes, fax, invoices, work sheets, and all drafts, alterations, modifications, changes and
`
`amendments of the foregoing), graphic or oral representations of any kind (including without
`
`limitation, photographs, charts, microfiche, microfilm, videotape, recordings, motion pictures, plans,
`
`drawings, surveys), and electronic or electro-mechanical records or representations of any kind
`
`(including without limitation, computer memory, hard drives, discs, tapes, cassettes and recordings).
`
`6.
`
`The terms "relating to" and "referring to" shall be interpreted broadly so as to
`
`encompass the liberal scope of discovery set forth in Federal Rule
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